- BSBRKG301B - Control records
Assessor Resource
BSBRKG301B
Control records
Assessment tool
Version 1.0
Issue Date: April 2024
This unit applies to individuals requiring some understanding of relevant theoretical knowledge relating to recordkeeping functions. It is not assumed that individuals at this level would have responsibility for supervising the work of others; however it is assumed that as a recordkeeping practitioner their work will support effective recordkeeping and governance practices across the organisation.
The application is in relation to business or records systems that provide guidelines and processes to assist users in making judgements on record status and classification, and should be performed under supervision or in consultation with more senior staff or users of the system.
This unit describes the performance outcomes, skills and knowledge required to classify, register, and track records and information about records within a business or records system.
No licensing, legislative, regulatory or certification requirements apply to this unit at the time of endorsement.
You may want to include more information here about the target group and the purpose of the assessments (eg formative, summative, recognition)
Employability Skills
This unit contains employability skills.
Evidence Required
List the assessment methods to be used and the context and resources required for assessment. Copy and paste the relevant sections from the evidence guide below and then re-write these in plain English.
The Evidence Guide provides advice on assessment and must be read in conjunction with the performance criteria, required skills and knowledge, range statement and the Assessment Guidelines for the Training Package. | |
Overview of assessment | |
Critical aspects for assessment and evidence required to demonstrate competency in this unit | Evidence of the following is essential: registering and tracking the location of records using appropriate processes for capture and classification identifying activities documented by records applying classifications schemes recording metadata accurately. |
Context of and specific resources for assessment | Assessment must ensure: access to examples records, recordkeeping systems and policies access to workplace reference materials such as procedural manuals and company policies. |
Method of assessment | A range of assessment methods should be used to assess practical skills and knowledge. The following examples are appropriate for this unit: analysis of responses to case studies and scenarios demonstration of techniques direct questioning combined with review of portfolios of evidence and third party workplace reports of on-the-job performance by the candidate review of authenticated documents from the workplace or training environment oral or written questioning to assess knowledge of general principles and processes of recordkeeping systems. |
Guidance information for assessment | Holistic assessment with other units relevant to the industry sector, workplace and job role is recommended, for example: administration units other knowledge management units. |
Submission Requirements
List each assessment task's title, type (eg project, observation/demonstration, essay, assingnment, checklist) and due date here
Assessment task 1: [title] Due date:
(add new lines for each of the assessment tasks)
Assessment Tasks
Copy and paste from the following data to produce each assessment task. Write these in plain English and spell out how, when and where the task is to be carried out, under what conditions, and what resources are needed. Include guidelines about how well the candidate has to perform a task for it to be judged satisfactory.
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Required skills |
communication skills to explain and clarify procedures, and to receive and interpret requests for records literacy skills to read and interpret nature of record content problem-solving and analysis skills to interpret and apply descriptive standards self management skills to accurately record metadata. |
Required knowledge |
key provisions of relevant legislation from all forms of government, regulations, standards and documentation that may affect aspects of business operations, such as: AS 5044.1:2002 AGLS Metadata element set AS 5090:2003 Work process analysis for recordkeeping AS ISO 15489:2004 Records management AS ISO 23081.1:2006 Information and documentation - Records management processes - Metadata for records - Principles Australian Stock Exchange(ASX) Principles of Good Corporate Governance ethical principles codes of practice privacy and freedom of information archives and records legislation occupational health and safety general principles and processes of records management and records management systems such as: systems of control records continuum theory mandate and ownership of business process organisational business functions, structure and culture organisational policies, strategies and procedures, particularly those relating to records access and security. |
The range statement relates to the unit of competency as a whole. It allows for different work environments and situations that may affect performance. Bold italicised wording, if used in the performance criteria, is detailed below. Essential operating conditions that may be present with training and assessment (depending on the work situation, needs of the candidate, accessibility of the item, and local industry and regional contexts) may also be included. | |
Categorising records may include: | determining storage locations environmental context - business environments, community expectations, governance frameworks, legislative and regulatory mandates or relevant recordkeeping principles and standards identifying areas or officers to which records are forwarded modifying formats or media of record in line with organisational requirements using organisational checklists of materials for capture taking action on records which do not require registering, including in relation to records for immediate destruction validating the authenticity, integrity, reliability and useability of records |
Records may include: | different stages of use: active archival digital: remote drives servers CDs DVDs imaging systems PC-based applications mainframe physical: audio-visual or multimedia graphic microform paper-based (acid free or multiple copies) variety of sources: already in the custody of the organisation in the process of being transferred between organisations |
Metadata are those records which are maintained about the records themselves and may include: | activity classification terms date, time, and location of record creation or registration into the system identity of record creator indexing and descriptive terms record format security and access information unique identifiers for each record |
Business or records systems may include: | archival control systems business systems cash register-based systems characteristics relating to: aggregations context entities metadata current business or records systems electronic records and document management system (ERDMS) informal paper-based accumulation and card systems PC-based accounting systems, employee and tax records systems proprietary recordkeeping package storage facilities systems |
Rules and procedures may relate to: | classification destruction manually generated running numbers ownership responsibility system generated identifiers transfer of custody |
Registering records may include: | access and security status: confidential high-security (restricted) open description details of record creator disposal class and use including: conversion to other record formats destruction retention transfer immediate location other control information to fulfil system requirements physical dependencies or format of a record that will assist with its management over time title |
Special handling requirements may include: | secondary storage requirements back-up and recovery procedures migration requirements, which may include: superseded media formats format which may deteriorate over time |
Storage location may include: | digital: remote drives servers CDs imaging systems physical: centralised or decentralised commercial storage service or government repository in-house or outsourced microform offline or off-site |
Updating and amending information may derive from: | action officers file transfer slips requests results of quality assurance audit supervisor user |
Transactions may include: | transfer of records disposal reporting auditing, which may address: compliance with recordkeeping metadata standards or requirements content location titling disposal |
Documentation or reports may include: | daily correspondence over due action reports proof of receipt record of movement resubmits for following day statistics |
Criteria for audit may include: | compliance with recordkeeping metadata standards/requirements content location titling unique identifier |
Copy and paste from the following performance criteria to create an observation checklist for each task. When you have finished writing your assessment tool every one of these must have been addressed, preferably several times in a variety of contexts. To ensure this occurs download the assessment matrix for the unit; enter each assessment task as a column header and place check marks against each performance criteria that task addresses.
Observation Checklist
| Tasks to be observed according to workplace/college/TAFE policy and procedures, relevant legislation and Codes of Practice | Yes | No | Comments/feedback |
|---|---|---|---|
| Categorise incoming material and identify records, metadata and formats for capture | |||
| Assess incoming material against organisational checklist for determining what material needs to be captured | |||
| Deal with material which does not need to be registered | |||
| Locate, remove or copy record, when action is complete, from the active business or records system | |||
| Match identified transaction, action or activity documented by records to organisation's classification scheme | |||
| Select full classification and sentencing of records in accordance with the system's rules and organisational procedures | |||
| Link classified or sentenced records to other records in business or records system | |||
| Select indexing points (cross reference terms) for records in accordance with system's rules and organisational procedures | |||
| Select and record unique identifiers for records in accordance with business or records system rules and procedures | |||
| Register records into business or records system | |||
| Document and forward records to appropriate locations or officers, observing any special handling requirements of the record format | |||
| Determine unique identifiers of records from requests or instructions | |||
| Obtain storage location, history and information of records from business or records system | |||
| Update and amend information about records | |||
| Complete all transactions within designated timeframes | |||
| Complete and obtain appropriate documentation or reports | |||
| Locate records with action officer and in storage areas, in accordance with supervisor's instructions | |||
| Audit records against predetermined criteria in accordance with organisational procedures and quality program | |||
| Document and report any discrepancies |
Forms
Assessment Cover Sheet
BSBRKG301B - Control records
Assessment task 1: [title]
Student name:
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I declare that the assessment tasks submitted for this unit are my own work.
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Result: Competent Not yet competent
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Assessment Record Sheet
BSBRKG301B - Control records
Student name:
Student ID:
Assessment task 1: [title] Result: Competent Not yet competent
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Feedback to student:
Overall assessment result: Competent Not yet competent
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